regulations on private placement by SMEs is available at https://www.sec.or.th/TH/Pages/LawandRegulations/SME-PP.aspx. ______________________ Notes:*- Notification of the Securities and Exchange Commission
is available at https://www.sec.or.th/TH/Pages/LawandRegulations/SME-PP.aspx. ______________________Notes: *- Notification
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
Sanction Committee, they have become persons having untrustworthy characteristics for holding the position of company director and executive pursuant to the Notification of the Securities and Exchange
decision,? said Mr. Rapee. ________________________ * - The SEC Office Notification No. Sor Thor. 25/2559 Re: Rules in Detail concerning Advertisement and Sale Promotion of Securities and Derivatives
Clause 20(5) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Approval for Personnel of Intermediaries to Perform Duties of Analyzing Investment and Giving
the Notification of the Capital Market Supervisory Board * The SEC therefore has suspended their approval as investment consultant, with details as follows:Capital Nomura Securities: (1) {B
March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for
consultants to make trading decision on their behalf and always submit trading orders via recordable channels. *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited
employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital